VP, Trade Floor Supervision
On behalf of our client in the Banking Sector, PROCOM is looking for a VP, Trade Floor Supervision.
VP, Trade Floor Supervision – Job Description
The Vice President, Trade Supervision will have responsibility for Capital Markets Trade Floor Supervision
In this role, the Vice President will work closely with the LOB (Lines of Business), primarily supporting the FICC (Fixed Income, Currencies & Commodities) businesses, to assess, analyze, update regulatory matters and ensure appropriate controls are in place to mitigate risk and increase the potential for revenue
VP, Trade Floor Supervision – Mandatory Skills
Professional certifications are required and\or must be obtained-IIROC Supervisor Registration, PDO- Partners, Directors & Senior Officers Examination
5+ years of business experience or experience in a Compliance or Regulatory function covering a major Broker-Dealer
In-depth knowledge of Capital Markets products and services including related functions and responsibilities of support groups and stakeholders (e.g., Compliance, Operations, Legal, . etc.)
Knowledgeable of the various regulatory risks and controls associated with Capital Markets business activities, including market risk, credit risk, operational risk
Knowledgeable regarding Capital Markets structure, infrastructure, products, services and technology
Strong understanding of current and horizonal issues of the regulatory industry
Exceptional analytical skills
Proven ability to conceptualize regulatory initiatives and to guide those initiatives as daily business requirements for the group
Maintain a clear holistic organizational view of actual and potential regulatory business risks
Ability to advocate persuasively and to negotiate with influence on effect change in areas without direct reporting status to the incumbent
Highly developed written and oral communication skills
Proficiency in communicating policies and procedures in a clear and concise manner
Expertise in computer applications and database management tools including, but not limited to, MS Excel and MS Word, Actimize and a proficiency in MS PowerPoint would be a plus
Exceptional ability to independently manage multiple priorities and to proactively service multiple clients in a fast-paced environment
Ability to work independently to support achievement of Capital Markets business management objectives and work a demanding schedule under limited supervision
Excellent attention to detail and ability to learn and adapt quickly
Ability to recognize material differences between planned execution and actual practice
VP, Trade Floor Supervision - Nice to Have Skills
Former trading experience
Familiarity with regulatory environment
VP, Trade Floor Supervision - Assignment Start Date
ASAP – 12 months to start
VP, Trade Floor Supervision - Assignment Location
Toronto, ON – Work Onsite
VP, Trade Floor Supervision • Toronto, Ontario, Canada
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